Preliminary E&S Assessments – Sherabad, Samarkand & Jizzakh Solar PV Projects

SoW 1 – SOCIAL COMPLAINCE AUDIT

 This scope of work includes conducting the Social Compliance Audits (SCA) for the Samarkand and
Jizzakh solar PV areas only.

 The scope of the audit only includes the PV areas and does not include the overhead transmission lines
as these have not yet undergone any land acquisition.

 The requirement for a SCA for the sites was requested by the Asian Development Bank (ADB) as part of
the due diligence process.

 The scope excludes Sherabad projects as well as the transmission lines for Samarkand and Jizzakh

 The audits will be used for the development of two Livelihood Restoration Plans (LRPs) for the sites which
will be developed once the boundaries of the solar sites and their transmission lines are finalized. A
proposal for the LRPs shall be quoted separately under SoW 2.

The objectives of the Social Compliance Audit are summarized below:

1. Assess the extent of historic land acquisition and displacement that has taken place at the intended
locations of Samarkand and Jizzakh solar PV sites, understand the approach used at the time, particularly
in terms of the compensation of previous landowners and users, and identify any gaps between the
approach used and that of international best practice, specifically ADB Safeguard Policy Statement.

2. The results of the audit would then be used to develop a Corrective Action Plan (CAP) to address these
gaps and bringing them in line with national legislation and international best practice where possible.

3. Inform the development of LALRPs which will be developed in a second phase of work.

Document Review: The Consultant shall will undertake a review of existing documentation, Stakeholder
Engagement Plans and any further publicly available information to understand the socio-economic
characteristics of the project areas, including ethnic composition and the presence of vulnerable groups.
The Consultant shall draft a summary of all policy and legislative requirements which will form the basis for
the compliance audit.

The Consultant will work with the Client to formally request any documents relating to historic land
acquisition and resettlement activities at Samarkand and Jizzakh from the relevant Government authorities.
This would likely include engagement materials, survey records, resettlement plans, past written agreements
between authorities and farmers, compensation payment records, complaints, grievances and appeals.

The Consultant will use these documents to develop a plan for the site visit, stakeholder engagement
materials and interview questions for the site visit.

Deliverable(s):

 Summary of policy and legal framework

 Plans and schedules for the site visit, engagement materials and interview questions for the Social
Compliance Audit

Site Visit and Stakeholder Engagement: The Consultant will conduct stakeholder engagement activities
at both sites to gather additional information regarding the populations who may have been historically
displaced, understand the context surrounding historic land acquisition activities, and understand the
process followed, such as eligibility requirements, levels of compensation and support distributed.

The stakeholders consulted will include regional and local government authorities and agencies, the current
communities surrounding the project areas, known Project Affected Peoples (PAPs) from historic
resettlement and relevant civil society groups.

With help from local authorities, the Consultant will also identify all PAPs displaced by historic land
acquisition at Samarkand and Jizzakh to inform the socio-economic survey.
During the site visit, the Consultant will also take the opportunity to visit areas likely to be resettled in the
future to understand the local context and identify key issues or risks that should be considered when
moving into Livelihood Restoration Planning.

The Consultant shall ensure that all applicable requirements are addressed during the site visits and that
all the required information to meet the Lender requirements will be obtained during the site visits,
stakeholder engagement, census and socioeconomic surveys.

Deliverable(s):

 Meeting and interview write-ups (where relevant)

Census & Socio-economic survey of displaced people: The Consultant shall then conduct a socio-
economic survey of the identified displaced people to understand how they have been impacted by
resettlement and how their livelihood and quality of life has changed since. If a pre-resettlement socio-
economic baseline is available, the results of the survey will be compared with this baseline, If a pre-
resettlement baseline is not available, displaced PAPs accounts of how their life has changed will be
triangulated with other sources as far as possible. The results of the survey will also be cross checked with
publicly available data to identify wider local, regional or national trends that may be represented in the
data and separate true resettlement impacts.

Deliverable(s):

 Socio-economic database of displaced people.

 Summary key socio-economic findings and resettlement impacts.

Compliance Review: Using the information gathered in the Document Review and the Site Visit, the
Consultant will identify and assess the gaps between the approach used for historic land acquisition at both
sites and ADB requirements. The review will include the following checks (among others) considering ADB
requirements.

 Assess if feasible alternatives were adequately considered.

 Assess if compensation, assistance and benefits were provided to all displaced persons including
those who have no formal legal rights, and it was provided at full replacement cost with preference
given to land for land exchanges.

 Confirm that all social impacts were identified through a baseline census and socio-economic survey
of adequate quality and that vulnerable groups were identified.

 Confirm if a resettlement plan was produced of adequate quality to ensure that livelihoods and
standards of living are improved or restored.

 Confirm If land acquisition was involuntary or through a negotiated settlement.

 Identify any vulnerable or ethnic groups displaced and confirm what additional safeguards were
implemented.
 Confirm if resettlement plans were disclosed to all relevant stakeholders in a timely manner.
 Assess the level of meaningful consultation that took place as part of resettlement planning and confirm
if vulnerable people were adequately represented.

 Confirm if a grievance redress process was available and assess its accessibility, transparency and
appropriateness. Identify any unresolved grievances.

 Confirm if Monitoring and evaluation is taking/took place and asses its suitability.
 Confirm if unanticipated impacts were appropriately addressed.

 Identify if any special considerations were undertaken for Indigenous peoples where necessary.
The Consultant will then draft a Corrective Action Plan to rectify any gaps identified in the compliance
assessment to bring the historic resettlement in line with ADB requirements where possible. The Correction
Action Plan will outline key tasks and consideration for Assystem, Government Agencies, and will inform
the LRP to be developed in a later phase. Where necessary, the Consultant will consult Assystem and
the ADB to ensure the plans are relevant and implementable.
Deliverable(s):

 Social Compliance Assessment findings.

 Summary of key risks to the project.

 Corrective Action Plan.

Reporting: The Consultant shall draft two Social Compliance Audit Reports (1 for each project). The
reports will contain the following sections:

Section 1: Introduction

Section 2: Policy, Legal & Regulatory Framework

Section 3: Methodology

Section 4: Review of historic resettlement practices and current status

Section 5: Review against ADB SPS Safeguard Requirements

Section 6: Corrective Action Plan (Including considerations for LRPs)

The Consultant will review the SCAs to incorporate all Lender (i.e. ADB’s) comments until all comments
are closed out to the Lender’s satisfaction and the SCAs are accepted by the Lenders.

As outlined above, the Consultant will proactively engage with ADB to ensure that all applicable
requirements are addressed during the site visits and that all the required information to meet the Lender
requirements will be obtained during the site visits, stakeholder engagement, census and socioeconomic
surveys (sections 1.3 and 1.4 above). If there are gaps in the data collection requiring additional visits by
the consultant’s local team, these shall be organised under the budget for this scope and will not be subject
to a variation order.

Timeline: the final SCA Reports shall be submitted to Assystem within 3,5 weeks from the Kick-off.
SoW 2 – LIVELIHOOD RESTORATION PLANS

The livelihood restoration planning project has two objectives:

1. Plan to mitigate livelihood impacts which have already occurred due to historic resettlement and rectify
any related gaps as identified in the Social Compliance Audits (SCA) and related Corrective Action
Plans (CAP) requested by the Asian Development Bank (ADB).

2. Support the future involuntary economic resettlement of PAPs affected by the development of the
Sherabad, Samarkand and Jizzakh sites, including their corresponding transmission lines and
document the land acquisition process to ensure that affected persons have been fairly treated in line
with national legislation and international best practice.

Document Review: The Consultant will undertake a review of existing documentation, Stakeholder
Engagement Plans, SCAs and any further publicly available information to understand the socio-economic
characteristics of the project areas, including ethnic composition and the presence of vulnerable groups.

The Consultant will use these documents to develop fieldwork plans and stakeholder engagement
materials.

During this task, the Consultant will also begin to develop the Policy, Legal & Regulatory Framework section
and the Project Descriptions for the LRPs.

Deliverable(s):

 Development of the first three chapters of the report: Introduction, Project Description and Policy, Legal
& Regulatory Framework.
 Engagement materials fieldwork plans

Once the three project designs have been confirmed and designer reached a “design freeze” on all
three projects, a cadastral land survey on each of the tree sites will also be required to understand the land
parcel affected, within the site and along the transmission line. In order to do so, the Client will need to
provide:

 Agreed final boundaries of the solar site.

 Agreed final transmission line route for all the three sites.
 Agreed final location of the OHL towers.
 Physical demarcation on land of all site boundaries and routes of the transmission line corridor
following appropriate stakeholder engagement.

The local team will engage with local cadastral offices to gain access to cadastral data, compare it with
satellite imagery and the situation on the field to ensure that land boundaries recorded in the cadastre are
accurate, gathering information on land tenure status and land titles.

Assystem shall provide support in obtaining cadastral data.

Deliverable(s):

 Mapping of land use based on cadastral data and satellite imagery – to be shared with the Client as a
PDF and google earth or georeferenced Shapefiles.

The Consultant shall conduct a planning / training session per site with 1 government registered valuation
company and enumerators on techniques for data collection, use of survey tools, field planning and health
and safety. This session will be carried out online with members of the Consultant, the enumerators and
the local valuation company. Following the session, the socio-economic census and asset survey
questionnaires will be refined.

Health and safety protocols will include measures for managing COVID-19 risk, which will be in line with
the Consultant, WHO and national Government regulations and guidance.

Deliverable(s):

 Training workshop and Survey Plan and HSE Plan.

Stakeholder Engagement: In line with IFC PS1 and PS5, as well as ADB requirements, the Consultant
will carry out stakeholder engagement activities throughout the Livelihood Restoration Planning process
to:
 Inform and sensitize the local community of about the upcoming livelihood restoration studies and
surveys.
 Set up a resettlement committee at each of the sites with local leaders and PAPs representatives to
oversee the development and implementation of the livelihood restoration process; the Consultant will
endeavour to ensure the committees represent the wider community including vulnerable groups.
 Use the committees to foster community collaboration in the livelihood design process.
 Announce the cut-off date before the start of the census and surveys at each of the sites.
 Present the results of the census and surveys to affected PAPs.

The Consultant shall organise a LRP verification meeting as per ADB requirements, with the attendance of
the relevant authorities, the PAPs the LESA and invitation to ADB, to show that all PAPs have been
adequately informed of the LRP measures and are in agreement (or that their concerns have been noted)
on the proposed compensation measures and timelines.

Deliverable(s):

Development of engagement material for:

 Initial resettlement planning disclosure with key stakeholders.

 Support in developing resettlement committees (e.g. development of Terms of Reference).

 Announcement of the cut-off date.

 Disclosure of survey findings and mitigation measures.

Socio-Economic Census and Asses Survey: Following training and survey planning the Consultant will
undertake the socio-economic census survey for PAPs affected by involuntary economic displacement and
the local valuation company will begin the asset survey. The census and socio-economic household survey
provides quantitative demographic data on households / asset owners and relationships within the
household as well as data on asset ownership, land usage, livelihoods and vulnerability. It also provides
more in-depth understanding of livelihoods, education, health, household strategies and food security, etc.
This data also informs livelihood restoration strategies. Another important output of the census and socio-
economic assessment is a list of indicators and a pre-resettlement baseline to be used for monitoring the
implementation of the LRP. Therefore, questionnaires shall be designed to ensure the data can inform the
development of key performance indicators for future monitoring and evaluation.

Interviews with local authorities, leaders, education and healthcare representatives and members of civil
society should capture qualitative information to support the data captured in the surveys and understand
the wider causes of trends observed. Focus groups or interviews with key community groups such as youth,
women, vulnerable people and relevant livelihood groups such as herders should be held to understand
trends, perceptions and preferences for livelihood restoration options.

The asset surveys and valuation will involve the identification of the ownership of all affected assets,
demarcation and valuation. The asset survey will include recording and measuring land and crops affected,
structures affected, and any other assets within the 3 sites and transmission lines. The objective of the
asset survey is to define the individual losses that could result from the development of all three Projects,
which will ultimately be used to define individual entitlements and compensation packages. The asset
survey will include permanent and temporary losses, therefore it is critical to have the complete footprint
for permanent land take as well as land take for associated and temporary facilities.

Asset surveys will be led by a registered valuation team who will also undertake a market value survey on
site to ascertain current local prices of common assets which will be used to determine compensation rates
at full replacement value.

This exercise will often require the registered valuation team to work with a government valuer on assessing
asset values.

Data shall be captured through the use of Survey123 platform which will be uploaded on the enumerators
smart phones. The Consultant’s proposal shall be inclusive of all households affected by the Project in all
three sites.

Deliverable(s):

 Socio-economic and asset survey databases with asset valuation.

 Resettlement impact chapter (focusing on the losses to be experienced by PAPs).

Completion of the LRP Reports: The data obtained through the census, socio-economic surveys and
asset surveys will inform the proposed sections of the three LRPs which will:

 Include detail on eligibility and entitlements in accordance with the law of Uzbekistan.
 Define eligible groups.
 Processes for resolving disputes or handling absent landowners.
 Identify gaps to international standards on eligibility.
Explain the valuation process.
Present an entitlements matrix that meets IFC PS5/ADB requirements.
Set out the livelihood restoration measures.
Detail temporary support measures such as disruption allowances and transitional support.
Detail safeguards for vulnerable people.

A chapter on Stakeholder Engagement & Disclosure shall be drafted and include a summary of all
engagement during the LRP process, key issues and concerns raised by stakeholders and key
engagement requirements during LRP implementation. These engagement activities will complement the
ESIA engagement process.

The draft LRP will also incorporate chapters on Implementation, Monitoring & Evaluation setting out key
tasks for implementing the LRP including:
 A process for the establishment of resettlement committees.
 Institutional requirements for LRP implementation, including the roles of the resettlement committees,
government authorities and end Client.
 Recommendations on the proposed LRP implementation team (including key roles and responsibilities).
 Resourcing and cashflow considerations.
 LRP implementation schedule, draft budget that includes proposed compensation packages to full
replacement cost and eligible allowances.
 An overview of the grievance mechanism.
 A monitoring and evaluation framework.

Draft LRP reports for each of the three solar sites will be submitted for Client’s review.

ADB's SPS requires livelihoods restoration to enhance, or at least restore, the livelihoods of directly affected
persons relative to pre-project levels, and to improve the standard of living of poor and vulnerable to at
least national minimum standards if these have not already been met prior to the Project. Therefore, the
livelihood restoration measures outlined in the LRP reports will be specific, detailed and implementation
ready. Expected outcomes based on the socioeconomic conditions of the PAP and the Project area need
to be described and KPIs will be developed to monitor these. To achieve this, the LRP shall clearly indicate,
inter alia, the following:
 The different PAH groups in terms of vulnerability i.e. not only a list of vulnerability criteria but an
understanding and assessment of PAH vulnerability and targeted measures to support vulnerable
PAHs.
 How the final measures relate to affected people. This will be focused based on age of family members,
skills they have, resources (including education, savings, etc.). It is more helpful to suggest women's
activities because they are both gender appropriate as well as realistically income generating.
 Clarify the strategic focus of livelihoods activities - e.g. water and livestock, for example.
 For training measures, clearly identify existing knowledge and experience and how this can be
enhanced.
 Take into consideration local opportunities and constraints.
 Demonstrate through a high-level market analysis how the activities will contribute to financial security
and income restoration of PAPs.
 Identify how increased skills, competence and experience will be achieved.
 Which local authorities the project will work with, and on what. Support staff may also need training in
how to support this programme.
 Demonstrate a clear link between livelihoods baseline, expected outcomes, and monitoring KPIs.

Deliverable(s): Draft and final LRP report with the following sections

Section 1: Introduction Section 7: Eligibility & Entitlements

Section 2: Project Description
Section 3: Policy, Legal & Regulatory Framework
Section 4: Stakeholder Engagement and Disclosure
Section 5: Socio-Economic Baseline
Section 6: Assessment of Resettlement Impacts
Section 8: Valuation & Compensation
Section 9: Livelihood Restoration Measures
Section 10: Safeguarding Vulnerable People
Section 11: Implementation & Budget and
Schedule
Section 10: Monitoring & Evaluation

The Consultant will proactively engage with ADB to ensure that all applicable requirements are addressed
during the site visits and that all the required information to meet the Lender requirements will be obtained
during the site visits, stakeholder engagement, census and socioeconomic surveys where possible within
the budget.

Timeline: the final LRP Reports shall be submitted to Assytem within 7 weeks from the Kick-off.
The Consultant should note the following:

 Assystem will require the production of three separate LRP documents to cover each of the three sites.
 The proposed fee include measures for replacement land; should the team need to identify replacement land for any
informal users, this may incur an additional fee.
 The proposed fee shall account for all households affected by the Project in all three sites.
 The Consultant will be responsible for the organization of all in country logistics.
 The Consultant will proactively engage with ADB to ensure that all applicable requirements are addressed during the
site visits and that all the required information to meet the Lender requirements will be obtained during the site visits,
stakeholder engagement, census and socioeconomic surveys where possible within the current agreed budget.
 The Price breakdown shall be provide in the attached excel sheet format. The Consultant can add additional line
items to the excel sheet to describe the price breakdown further
 The Consultant shall estimate the affected land owners based on the attached kmz files for the projects
 The Consultant shall conduct the LRP and the SCA scopes in parallel for all 3 sites
 The final LRP Reports shall be submitted to Assystem within 50 days from kick-off